VP, Equities Compliance Officer

3 weeks ago

Hong Kong, Hong Kong SAR China Citi Full time
Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism.

Shape your Career with Citi

Citi's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi's people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi's mission and culture.

We're currently looking for a high caliber professional to join our team as VP, Equities Compliance Officer - Hybrid (Internal Job Title: Compliance Product Officer - C13) based in Central, Hong Kong. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:

Position summary:

Serves as an Equities compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures

In this role, you're expected to:
  • Assisting in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for Independent Compliance Risk Management (ICRM), especially on Asia Cash Equities.
  • Providing guidance on rules and regulations relating to function/business/product issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
  • Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
  • Collaborating with other internal areas including: Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.
  • Supporting the function/business/product in performing timely compliance reviews of new products.
  • Assisting in the development and administration of Compliance training for the supported function/business/product.
  • Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
  • Additional duties as assigned
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
As a successful candidate, you'd ideally have the following skills and exposure:
  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred
  • Strong written and verbal communication and interpersonal skills
  • Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Advanced analytical skills
  • Ability to both work independently and collaborate with team members
  • Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Demonstrated knowledge in area of focus
  • Relevant certifications desirable
------------------------------------------------------

Job Family Group:
Compliance and Control
------------------------------------------------------

Job Family:
Product Compliance Risk Management
------------------------------------------------------

Time Type:
Full time
------------------------------------------------------

Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Citigroup Inc. and its subsidiaries ("Citi) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi .

View the " EEO is the Law " poster. View the EEO is the Law Supplement .

View the EEO Policy Statement .

View the Pay Transparency Posting

  • Senior Compliance Officer, VP

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Robert Walters Hong Kong Full time

    About the RoleWe are seeking a highly experienced Senior Compliance Officer, VP to join our team at Robert Walters Hong Kong. As a key member of our Compliance department, you will play a pivotal role in ensuring regulatory compliance across our business areas.Key ResponsibilitiesCompliance Advisory: Provide in-depth compliance advisory and guidance on new...

  • Business Compliance VP

    4 weeks ago

    Hong Kong, Hong Kong SAR China Robert Walters Hong Kong Full time

    As the VP compliance, you will play a pivotal role in ensuring regulatory compliance across Wealth Management, Asset Management, FICC, Institution Solutions & Derivatives, and other core business areas. Your primary responsibilities will include: Providing in-depth compliance advisory and guidance on new business/product initiatives, suitability...

  • Business Compliance, VP

    1 week ago

    hong kong, Hong Kong SAR China Robert Walters Hong Kong Full time

    As the VP compliance, you will play a pivotal role in ensuring regulatory compliance across Wealth Management, Asset Management, FICC, Institution Solutions & Derivatives, and other core business areas. Your primary responsibilities will include: Providing in-depth compliance advisory and guidance on new business/product initiatives, suitability...

  • VP Compliance

    1 month ago

    Hong Kong, Hong Kong SAR China eFinancialCareers Full time

    Vice President (VP), Compliance - Foreign Corporate Bank Location: Hong Kong We are currently seeking a proficient and experienced Vice President (VP) of Compliance to join our esteemed foreign corporate bank in Hong Kong. The ideal candidate will possess in-depth expertise in commercial banking compliance while also demonstrating exposure to structured...

  • Equities Product Control

    3 weeks ago

    Hong Kong, Hong Kong SAR China Gravitas Recruitment Group Full time

    Our Client one of the Leading Hong Kong-based Chinese securities firm who are seeking a Equities Product Control -VP/Director to join their finance team Responsibilities * Manage and oversee daily P&L of Equities products, EQD, IRS, derivatives, Swap, Futures, option etc. * Update valuation of forward, SWAP, IRS & reconcile the results with brokers * Handle...

  • VP, Compliance Testing Officer

    3 weeks ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • VP, Compliance Testing Officer, Markets

    3 weeks ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • VP, Compliance Testing Officer, Markets

    3 months ago

    Hong Kong, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...

  • VP, Compliance Testing Officer, Markets

    3 weeks ago

    Hong Kong, Hong Kong SAR China Citi Full time

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

  • VP - Operations and Settlements Specialist

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Selby Jennings Full time

    **About the Role**Our client, a leading boutique securities firm in the industry, is seeking a highly skilled VP - Operations and Settlements Specialist to join their Global Markets team. As a key member of the team, you will be responsible for overseeing the settlement of securities, futures, and bonds, as well as corporate actions for equities in global...

  • Equities Compliance Specialist

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Job Summary:Ashford Benjamin Ltd is seeking a highly experienced Equities Compliance Specialist to join our team. As a key member of our compliance department, you will be responsible for providing expert advice on equities and electronic trading compliance matters.Key Responsibilities:Provide compliance advice on APAC equities and electronic trading...

  • Compliance Monitoring VP, Global Bank

    7 days ago

    hong kong, Hong Kong SAR China Projob21.com Ltd. Full time

    Our Client European Based Wealth Management Banking Group, hiring over 550 employees in APAC region and total AUM USD of 195 Billion+ is in search for Compliance Monitoring Veteran of VP Level for Greater China region. Job Duties Perform annual risk assessment to identify key risk areas that need to be monitored. Report to North Asia Head of Compliance....

  • Regional Equities Compliance Head

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    {"title": "Regional Equities Compliance Head", "content": "Job SummaryHARBRIDGE PARTNERS is seeking a seasoned compliance professional to lead our Equities Compliance team in Asia Pacific. As Regional Equities Compliance Head, you will be responsible for providing guidance and advice to our business units on regulatory matters, developing and implementing...

  • VP, Asset Management Compliance Specialist

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    About Pure Hong KongPure Hong Kong is a leading asset management company in Hong Kong and Asia Pacific, with a strong compliance culture and a commitment to providing excellent work-life balance and career prospects.The RoleWe are seeking an experienced and knowledgeable compliance professional to join our Regional Compliance Team as a VP, Asset Management...

  • Corporate Trustee and Fiduciary Compliance VP

    1 week ago

    hong kong, Hong Kong SAR China Larson Maddox Full time

    Global Bank is looking for a VP to join their Corporate Trust and Fiduciary team, where the candidate will be liaising with SFC, MPFA, and other internal stakeholders. This hire will handle new SFC type 13 license-related regulatory queries and setup. SFC or MPFA regulator background and CIB business compliance background is preferred. ...

  • Corporate Trustee and Fiduciary Compliance VP

    7 days ago

    Hong Kong, Hong Kong SAR China Larson Maddox Full time

    Global Bank is looking for a VP to join their Corporate Trust and Fiduciary team, where the candidate will be liaising with SFC, MPFA, and other internal stakeholders. This hire will handle new SFC type 13 license-related regulatory queries and setup. SFC or MPFA regulator background and CIB business compliance background is preferred. Responsibilities: ...

  • VP, Investor Relations, SEA Coverage, Global Private Equity Firm, Hong Kong

    1 month ago

    Hong Kong, Hong Kong SAR China PER, Private Equity Recruitment Full time

    About our client Our client is one of world-leading private investment houses based in Hong Kong. With a multi billion AUM and wide range of global and Asian products, they are keen to hire someone as an Investor Relations VP where you will be focused on raising capital and distribute the various investment products to the South East Asia (SEA)...

  • Compliance Officer

    1 month ago

    Hong Kong, Hong Kong SAR China Qube Research & Technologies Full time

    Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to...

  • Transaction Monitoring/AML Compliance VP, Private Bank

    2 weeks ago

    hong kong, Hong Kong SAR China Projob21.com Ltd. Full time

    Transaction Monitoring/AML Compliance VP, Private Bank Our Client Award-winning European Private Bank recognized as the Best DPM, EAM and Pure Play PWM & Asset Mgmt, hiring 1800 professionals worldwide to search for FCC/Transaction Monitoring Compliance Manager/Associate. Job Duties Report to Head of FCC and partner with a small professional team of 3...

  • Equities Compliance

    1 week ago

    hong kong, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Responsibilities: Provide compliance advice on APAC equities and electronic trading business  Act as the contact person in connection with regulatory and compliance matters for market making activities Implementing compliance policy, procedure, and framework  according to relevant regulatory updates Working closely with internal and external...